Category Archives: FINRA

FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and Jennifer Piorko Mitchell to VP, Corporate Governance

For Release: Thursday, February 9, 2017 Contact(s): Nancy Condon (202) 728-8379 Ray Pellecchia (212) 858-4387 [...]

10
Feb
FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and Jennifer Piorko Mitchell to VP, Corporate Governance

For Release: Thursday, February 9, 2017 Contact(s): Nancy Condon (202) 728-8379 Ray Pellecchia (212) 858-4387 [...]

10
Feb
FINRA Dispute Resolution Issues Status Report on Arbitration Task Force Recommendations

For Release: Wednesday, February 8, 2017 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

08
Feb
FINRA Dispute Resolution Issues Status Report on Arbitration Task Force Recommendations

For Release: Wednesday, February 8, 2017 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

08
Feb
FINRA Dispute Resolution Issues Status Report on Arbitration Task Force Recommendations

For Release: Wednesday, February 8, 2017 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

08
Feb
FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records From Alteration

For Release: Wednesday, December 21, 2016 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

03
Feb
FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records From Alteration

For Release: Wednesday, December 21, 2016 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

03
Feb
FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records From Alteration

For Release: Wednesday, December 21, 2016 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

03
Feb
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum

Thomas Gira Executive Vice President, Market Regulation New York, NY NOVEMBER 15, 2016 Good afternoon. [...]

03
Feb
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum

Thomas Gira Executive Vice President, Market Regulation New York, NY NOVEMBER 15, 2016 Good afternoon. [...]

03
Feb